Customer Privacy Notice

In accordance with the Gramm Leach Bliley Act of 1999, we are providing you with a copy of our firm’s Customer Privacy Policy. This notice is given to all of our existing clients and all new clients after July 1, 2001. All of our clients will also receive our Customer Privacy Policy annually. Should our Customer Privacy Policy change at any time regarding the treatment of your information you will receive or New Customer Privacy Policy in advance and be given the opportunity to “opt out” of any new disclosures.

What information is collected? – In compliance with various SEC and FINRA rules and various state and federal statutes and to provide you with appropriate financial services, we are required to collect personal, non-public information on you and your family such as: name, address, social security number, credit references, telephone number, e-mail address, age, investment objectives, investment experience, date of birth, tax bracket, bank accounts, annual income, net worth, value of residence if owned, liquid net worth, affiliations with corporations insurance companies or banks, your employment or occupation, marital status and other personal, no-public information.

How is this information used? - The information is used to allow us to provide appropriate financial services to you. We do not sell your information to any outside party. We do not share your information in joint marketing arrangements with other financial institutions. Historically, we have kept your personal information strictly confidential.

Who has access to this information? – Your personal information is shared on a limited, need-to-know basis in order to allow us to provide you with appropriate financial services. Personal or financial information may be shared with those affiliated with our firm (such as your registered representative) and with third parties, solely for the purpose of providing you with appropriate financial services. Third parties are limited to administrative functions only (such as filing monthly statements or new account forms) and are prohibited from sharing or using your personal, non-public information. Financial information may also be shared with our clearing firm, National Financial, and mutual fund companies in which you open an account. You will receive a Customer Privacy Policy Statement from these firms as well. Other third parties include governmental agencies, The Securities and Exchange Commission, Financial Industry Regulatory Authority and state securities regulators, our accountants and attorneys, registered investment advisors with whom you have an agreement, and those entities given authority through a legal proceeding.

Opt-Out Notice – In the future, if we arrange a joint marketing arrangement with other financial institutions or a non-affiliated third-party, we will notify you in writing and allow you to Opt-Out of the sharing of your personal, non-public financial information. If you decide to Opt-Out, your request must be made in writing, addressed and mailed to Municipal Capital Markets Group, Inc., 4851 LBJ Freeway, Suite 200, Dallas, TX 75244.

If you have questions about our Customer Privacy Policy, you may contact your registered representative or our main office by calling
(800) 929-0309 and explain that you have an inquiry regarding our Customer Privacy Policy Notice.